Elon J. Semaza
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Elon Joshua Semaza was a registered financial professional .
Elon is a previously registered financial professional and started their career in finance in 1997. Elon had worked at 13 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2013 - June 21, 2013
R. SEELAUS & CO., LLC
June 6, 2012 - June 29, 2012
JOHN THOMAS FINANCIAL
July 24, 2006 - January 17, 2012
SEMAZA SECURITIES, LLC
October 26, 2004 - March 30, 2006
DAWSON JAMES SECURITIES, INC.
July 12, 2004 - October 26, 2004
VIEWTRADE FINANCIAL
January 24, 2002 - July 27, 2004
NATIONAL SECURITIES CORPORATION
August 3, 2001 - February 7, 2002
STONE HARBOR FINANCIAL SERVICES, LLC
July 11, 2001 - August 2, 2001
BROADBAND CAPITAL MANAGEMENT, LLC
February 7, 2001 - July 13, 2001
DALTON KENT SECURITIES GROUP, INC.
January 18, 2000 - February 5, 2001
WINDSOR STREET CAPITAL, LP
October 1, 1999 - January 18, 2000
ROAN CAPITAL PARTNERS L.P.
February 6, 1998 - July 9, 1999
TD AMERITRADE, INC.
August 28, 1997 - October 23, 1997
W.J. NOLAN & COMPANY, INC.
July 8, 1997 - August 28, 1997
ROAN CAPITAL PARTNERS L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
R. SEELAUS & CO., LLC
CRD#: 14974 / SEC#: 801-68283, 8-31475
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEELAUS HOLDINGS LLC | OWNER/MEMBER | |
| BRUCIA, JAMES BENEDETTO | CO-HEAD OF ORIGINATION AND SYNDICATE, MANAGING DIRECTOR | 1281247 |
| GRAVES, LESLIE ANN | CO HEAD OF ORIGINATION AND SYNDICATE, MANAGING DIRECTOR | 1411769 |
| MITNICK, ANNELIESE NMN | CHIEF EXECUTIVE OFFICER (CEO) | 4862821 |
| MOLCHAN, MAYYA NMN | CHIEF FINANCIAL OFFICER (CFO), FINANCIAL AND OPERATIONS PRINCIPAL ( FINOP) | 5865025 |
| MURRAY III, ALBERT QUENTIN | HEAD OF SALES AND TRADING, MUNICIPAL PRINCIPAL (MP) | 1032639 |
| PAJDAK, KAROLINA NMN | CHIEF COMPLIANCE OFFICER (CCO) | 4491899 |
| SEELAUS, BENJAMIN PATRICK | CHIEF OPERATING OFFICER (COO), REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL (ROSFP) | 4621898 |
| SEELAUS, RICHARD PAUL | CHAIRMAN, | 500660 |
Disclosures
| Regulatory Event | 12 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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